Advertising Compliance Analyst - SEC/FINRA Review
$100k - $115kDIGITAL INSURANCE
Digital Insurance LLC seeks a compliance professional to ensure accuracy and adherence in advertising and social media. You will collaborate with various teams to review submissions against industry standards, maintaining compliance with SEC and FINRA regulations. Applicants should have a Bachelor’s degree and at least 3 years of experience in advertising review. The role offers a competitive salary range of $100,000 – $115,000 per year, along with variable compensation and additional financial benefits. #J-18808-Ljbffr
$200k - $250k
...oriented professional to join our Compliance Marketing Review team at the Vice President level.... ...applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory... ...professionals regarding compliant advertising and performance reporting practices...Suggested$110k - $150k
Compliance Officer - Marketing Review Brown Brothers Harriman is currently recruiting a Compliance Officer -... ...requirements that apply to marketing and advertising, specifically a deep understanding... ...Company Act of 1940, and FINRA advertising rules. Other regulatory...SuggestedLocal area$100k - $120k
...Compliance Analyst/Associate Apollo is a high-growth, global... ...program by reviewing external communications... ...Exchange Commission (SEC) Marketing Rule, Financial... ...Regulatory Authority (FINRA) Rule 2210, and other... ...impacting marketing, advertising, and distribution activities...Suggested$150k - $170k
...motivated individual to join the Company’s New York-based SEC/Corporate Compliance team as a Compliance Associate. The Compliance Associate will... ...What you will do: Draft, analyze and review legal agreements, including vendor and data privacy agreements...SuggestedFull timeWork at office$100k - $155k
A prominent Investment Management firm in NYC is seeking a Compliance Associate. The ideal candidate will possess 3-5+ years of experience in Financial Services Compliance, specifically with Advertising & Marketing materials. Required qualifications include a college degree...SuggestedFull time$81.3k - $108k
...Marketing & Communications Compliance ("MCC") team, providing... ...regulatory requirements, internal review standards, and disclosure... ...understanding of applying FINRA, NAIC, MSRB, and SEC marketing rules. Knowledge... ...rules, Reg BI, and advertising regulations is also required...Work experience placement$90k - $125k
...Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance... .... Responsibilities: Review marketing and advertising materials for proprietary and third... ...ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered...Work experience placement$80k - $115k
...seeking someone to join our team as a Compliance Associate in Wealth Management... ...securities law matters, and the review of advertising and marketing materials.... ...asset manager (experience at the SEC's Division of Examinations/OCIE, FINRA, or the OSC is a strong plus)....Temporary work$100k - $115k
...Remote Jobs is looking for a Compliance Advertiser to oversee the review of advertising and social media compliance in the financial services field. This role includes ensuring all promotional materials comply with industry standards while collaborating closely with marketing...Work at officeRemote work- Alphasense-India is looking for a Compliance Analyst to join their team in New York. This role involves reviewing expert call transcripts to ensure compliance with legal and regulatory standards. You'll conduct due diligence reviews, manage communications, and perform administrative...
$90 - $145 per hour
...professional with a Juris Doctor degree and experience in contract law, compliance, and litigation. This position offers flexibility as it is... ...legal judgment to structured project work. The role entails reviewing contracts and compliance documents, supporting litigation...Hourly payContract workRemote work$94k - $127k
...through the evolving cryptocurrency landscape. In this role, you will oversee the Swap Dealer Compliance Program, ensure adherence to CFTC, NFA, and SEC regulations, conduct reviews for the Surveillance Program, advise on compliance enhancements, respond to regulatory...Local area- ...Job Description The Compliance role is based in New York and provides dedicated support to... ...product/trade approvals and cross‑border review), manage regulatory projects, update policies... ...of the U.S. regulatory environment (SEC, FINRA, CFTC) Certifications: FINRA Series 7,...Shift work
$100k - $115k
...oriented individual to join our Compliance team and contribute to our... ...RESPONSIBILITIES - COMPLIANCE ANALYST Assist the General Counsel... ...firm trade surveillance Review marketing materials Track investor... ...on regulatory filings (SEC, CFTC/NFA, etc.) Assist with...Summer workWork at officeMonday to Friday- ...The Compliance Officer will work closely with the members of a team focusing on regulatory... ...Broker/Dealer Compliance division. • Review marketing material for consistency with... ...compliance with regulatory standards including, SEC, FINRA and MSRB • Provide consultation to...Work experience placement
$130k - $150k
...Reports to: Vice President, Compliance Position Overview We... ...detail-oriented Compliance Analyst to ensure our operations... ...coordination with our DSRO, review position limit hedge exception... ...federal regulations (e.g. FINRA and SEC rules) is a plus....Contract work- ...The Compliance Review Specialist is responsible for supporting Heartshare's regulatory and billing compliance efforts. This role conducts audits, monitors corrective measures, ensures documentation accuracy, and supports adherence to Federal, State, City and Agency regulatory...Full timePart timeWork at officeFlexible hours
- ...read on... The Information Security GRC Analyst III is responsible for analyzing and assessing... ...:00am - 5:00pm Responsibilities Monitor compliance by assisting in protecting the integrity... ...IT self‑assessment compliance reviews based on regulatory, industry standards,...Monday to Friday
$70k - $130k
Overview Cerity Partners is seeking a compliance professional that will play a key role in... ...monitoring workflows. Conduct compliance reviews of new products, trading strategies, and... ...of regulatory developments (e.g., SEC, FINRA, CFTC) impacting trading and execution practices...Local areaFlexible hours$130k - $150k
Reports To Vice President, Compliance Position Overview We are seeking... ...detail-oriented Compliance Analyst to ensure our operations... ...coordination with our DSRO, review position limit hedge exception... ...federal regulations (e.g. FINRA and SEC rules) is a plus. Benefits...- Heartshare is seeking a Compliance Review Specialist in New York to support regulatory and billing compliance efforts. This role involves conducting audits, ensuring documentation accuracy, and supporting adherence to various regulatory standards. Ideal candidates will...
$140k - $185k
...description represents a sample Fund Compliance Analyst position commonly found through the Career... ...of compliance programs and procedures Review fund documentation, investor... ...investment fund operations Familiarity with SEC, FINRA, CFTC, or other relevant regulatory requirements...Full time$125k - $150k
A leading energy infrastructure firm in New York seeks a proactive Compliance Associate to join its SEC/Corporate Compliance team. The role involves gathering information for compliance requests, drafting legal agreements, and supporting various compliance initiatives....$100k - $150k
...Senior Compliance Analyst/Compliance Counsel Seeking a detail oriented Senior Compliance Analyst... ...Actively participate in annual reviews and risk assessments Perform periodic... ...Form PF, and other filings Support SEC examinations and regulatory enquiries,...Work at office$85k - $140k
The Goldman Sachs Group in New York is seeking an SEC Reporting associate to play a vital role in financial reporting and compliance. This position involves preparing SEC filings and quarterly results, ensuring accuracy and adherence to U.S. GAAP regulations. Candidates...$100k - $120k
...Stamford office. About the Department Our Compliance team ensures the company meets... ...the annual Compliance Testing plan and review methodologies. You will follow up on action... ...investment advisory operations and regulations (SEC, FINRA). Soft Skills Clear, concise...Work at officeLocal area3 days per week$72.28k - $117.52k
...Line of Business: Compliance Job Description:... ...Compliance Business Oversight Analyst will: • Ensure... ...Company Act of 1940, FINRA, SEC rules, and other applicable... ...with regulatory reviews including inquiries, audits... ...providing guidance on advertising and marketing...Work experience placementLocal areaWork from homeFlexible hours$161.6k - $202k
...of patients - and that responsibility demands a security and compliance program that scales with the business. We're building out our... ...vendor security assessment lifecycle - questionnaires, SOC 2/ISO reviews, risk scoring, and policy enforcement across procurement and...Work from homeFlexible hours- ...Overview Compliance Specialist (High Ticket Sales) – Join to apply for the Compliance Specialist... ...highest standards of integrity in our advertising, marketing, sales, and operational... ...Responsibilities Advertising & Marketing Compliance: Review and approve promotional campaigns,...Full timeContract workFixed term contractRemote workWorldwideFlexible hours
- ...with a top-performing, global multi-strategy hedge fund to add Compliance Analysts as the platform continues to grow. This is a hands-on... ...surveillance and regulatory monitoring across multiple strategies SEC and CFTC reporting and ongoing regulatory obligations...Work at office
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Advertising Compliance Analyst - SEC/FINRA Review. Be the first to apply!
- financial compliance analyst New York, NY
- quality compliance specialist New York, NY
- coding compliance specialist New York, NY
- regulatory affairs specialist New York, NY
- regulatory compliance associate New York, NY
- human resources compliance specialist New York, NY
- hr compliance coordinator New York, NY
- compliance business analyst New York, NY
- regulatory compliance analyst New York, NY
- senior compliance officer New York, NY


